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ZACHARIAS v. S.E.C.

Nos. 08-1134, 08-1136, 08-1141.

569 F.3d 458 (2009)

Christopher H. ZACHARIAS, Petitioner v. SECURITIES AND EXCHANGE COMMISSION, Respondent.

United States Court of Appeals, District of Columbia Circuit.

Decided June 23, 2009.

Attorney(s) appearing for the Case

Jeffrey J. Scott argued the cause and filed the briefs for petitioner Thomas A. Kaufmann.

David A. Zisser argued the cause and filed the briefs for petitioner Christopher H. Zacharias.

Thomas D. Birge argued the cause and filed the briefs for petitioner John A. Carley.

Randall W. Quinn, Assistant General Counsel, Securities & Exchange Commission, argued the cause for respondent. With him on the brief were Andrew N. Vollmer, Acting General Counsel, Jacob H. Stillman, Solicitor, and Benjamin L. Schiffrin, Attorney. Brian G. Cartwright, Attorney, entered an appearance.

Opinion dissenting in part filed by Senior Circuit Judge WILLIAMS.

PER CURIAM1:

The petitioners are John A. Carley and Christopher H. Zacharias, officers and directors of Starnet Communications International, Inc., and Thomas A. Kaufmann, a registered representative associated with Spencer Edwards Inc., a United States registered broker-dealer. They challenge the Securities and Exchange Commission's finding that their participation in certain sales of unregistered securities violated §§ 5(a...

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